Thesis (M.B.A.)--Boston University

In this paper I argue that the development of innovation ideas within the financial system of scientific research might have a counterpart within the financial system of the social sciences and the arts. The ideas of innovation share a common way to evaluate science in terms of how well it can contribute to economic growth. In the past two decades a similar development can be observed within Riksbankens Jubileumsfond (RJ), one of the largest external financiers of the social sciences and the arts in Sweden. The idea of evaluating research used by the innovation ideas has grown popular within RJ, only it seems they evaluate research in terms of how well it fits into an international research community rather than how much it can contribute to economic growth as is the case within the innovation ideas. By examining the different ways of financing research that RJ has used during the last 2 decades, this paper aims to introduce a new perspective in which it is possible to understand the development within this type research funding as a part of a bigger system of development.

The purpose of this quantitative nonexperimental study was to indicate a better understanding of factors that motivate faculty at a 4-year public institution of higher education to pursue external funding. The study is focused on examining the relationship between characteristics of individual faculty members, productivity related to external funding, and faculty perception of intrinsic and extrinsic motivational factors related to pursuing external funding. External funding is a major source of support for research at institutions of higher education. For universities to increase external funding for research along with increasing research productivity, it is essential that university faculty members are motivated to engage in research and seeking funding to support it (Chval & Nossaman, 2014). In order to provide adequate support universities need a clearer understanding of factors that may contribute to faculty’s motivation to pursue external funding. This study was conducted at a 4-year public university in the Southeastern region of the United States. One hundred sixty-seven full-time tenure-track and tenured faculty participated in the study using the web-based anonymous Motivating Factors to Pursuing External Funding Faculty Survey developed by the researcher. The quantitative data were analyzed using a series of single sample t-test, independent t-test, and chi-squared test. This study revealed that the gender and tenure status of full-time tenure-track and tenured faculty at the participating institution does not significantly affect their productivity as it relates to grant submissions or awards. The findings also indicated that the full-time tenure-track and tenured faculty perceive autonomy and self-actualization as significant intrinsic positive motivators and financial rewards as a significant extrinsic positive motivator to pursuing external funding. Additionally, the study found that the full-time tenure-track and tenured faculty did not perceive institutional support services as an extrinsic motivator to pursuing external funding.

Those who are very wealthy may also be extremely free. Independently wealthy philanthropists epitomize this type of freedom. They seem to be able to act in whichever way they please, as long as they respect the limits of the law. Their freedom also implies that they do not experience as much accountability as other funders. Considering philanthropists’ ambitions as policymakers, and given their imposition of performance demands on their grantees, their accountability is relevant to investigate. However, there are no comprehensive comparative studies of philanthropists’ accountability, and there is mainly anecdotal evidence of a lack of accountability being derived from their independent wealth. This dissertation is a study of philanthropists’ accountability. I compare their experienced and exhibited accountability to that of other funders within societies, and I also compare philanthropists’ accountability across societies. I investigate whether philanthropists’ independent wealth influences to whom they are accountable, for what they are accountable, and how they are accountable. To learn about these topics, I examine their accountability relationships, their accountability mechanisms, and how they justify their potentially controversial funding of human embryonic stem cell research. Across these dimensions, I study their legal, financial, hierarchical, peer, professional, political, and fiduciary/social accountability. Empirically, I make a cross-sectional comparison of philanthropists to other funders of human embryonic stem cell research within and across three welfare regimes - liberal California, social democratic Sweden, and statist South Korea. I compare the accountability of independently wealthy philanthropists to that of public agencies, corporations, and fundraising dependent nonprofits. The empirical materials include 101 structured interviews with open-ended questions covering 51 funding organizations, as well as questionnaires explored in ANOVA and social network analysis. The study indicates that philanthropists experience and exhibit less accountability than other funders in some ways, in some contexts. By developing and using a framework to analyze their accountability, I show that philanthropists’ accountability is patterned within the societies in which they fund, and it differs greatly across societies. In California, philanthropists enact themselves as free actors, whereas in Sweden they enact a moral identity as funders of science. In South Korea, there is no clear boundary between philanthropic and corporate accountability. My results point to the contextual limits of philanthropists’ accountability. By enacting their moral identity in a way that conforms to local norms, philanthropists simultaneously retain and enable their continued freedom. In terms of their accountability, philanthropists are free to conform, and they become free by conforming.

Cette thèse étudie les effets de deux instruments d’action publique, le Research Assessment Exercise (RAE) et le full Economic Costing (fEC), sur le mode de gestion du travail des universitaires anglais. À partir de quatre études de cas —quatre départements, repartis sur deux universités et deux disciplines, géographie et informatique—, cette thèse montre que les deux instruments étudiés ont des effets structurants sur l’organisation formelle des départements.Les deux instruments introduisent le langage financier et le calcul monétaire dans les relations des différents acteurs, imposent le développement d’outils de gestion et, plus largement, participent à la managérialisation des universités. Le RAE et le fEC, grâce au travail d’interprétation fait par les universitaires, simplifient les demandes de l’environnement vis-à-vis des départements. Ceci permet la mise en place d’outils de gestion dont l’objectif n’est pas seulement de légitimer le département vis-à-vis des évaluateurs externes, mais également de coordonner le travail des universitaires. Cependant, le RAE et le fEC ont surtout des effets indirects. Le mode d’organisation des départements n’est pas déterminé par les instruments nationaux, mais par des négociations qui dépendent de la capacité des universitaires à rapporter des ressources matérielles et symboliques à l’université. Il peut être managériale collégiale dans les départements qui obtiennent de bons résultats financiers et au RAE ou managériale hiérarchique dans ceux qui ont du mal à satisfaire les attentes de la direction de l’université. Dans les deux cas, les universitaires gardent un degré d'autonomie. / In this thesis we study the effects of two policy instruments, the Research Assessment Exercise (RAE) and the full Economic Costing (fEC), on the management and the work of academics on English departments. From four case studies of four departments in two universities and two disciplines —Geography and Informatics—, this thesis shows that the two instruments studied have a structural effect on the formal organization of departments. Both instruments introduce financial language and monetary calculation in the relations of actors, they require the development of management tools and more broadly, they are involved in the managerialisation of universities. The RAE and the fEC, through the work of interpretation by the academics, simplify the demands of the environment vis-à-vis the departments. This allows the implementation of management tools whose objective are not only to legitimize the department vis-à-vis the external evaluators, but also to coordinate the work of academics. However, the RAE and the fEC have effects mainly in an indirect way. Instruments are not only interpreted at the departmental level, but they are also operationalized through management tools that open new spaces of academic freedom. The department organization is not determined by national instruments, but by negotiations that depend on the ability of academics to bring material and symbolic resources to the university. It can be collegial-managerial in departments that get good funding and good results in the RAE or hierarchical-managerial in those that are struggling to meet the expectations of the management of the university. In both cases, the academics retain a degree of autonomy.

Este estudo abordou o contexto de uma engrenagem macropolítica, na qual o poder dominante (representado pela indústria farmacêutica) se articula à indústria do conhecimento, condicionando construção e divulgação de conhecimento biomédico à mesma lógica da produção e distribuição capitalista de mercadorias. A indústria farmacêutica tem investido em projetos de pesquisas clínicas, com o objetivo de legitimar, cientificamente, seus produtos. A investigação deste papel financiador de ensaios clínicos baseou-se nos depoimentos de quatro médicos, professores de Medicina, coparticipantes de projetos da indústria farmacêutica. Os resultados evidenciaram que os protocolos das pesquisas são elaborados pela própria indústria, sem participação do médico colaborador; o acesso à íntegra dos dados coletados é de exclusividade dos coordenadores centrais da pesquisa; e, os resultados dos ensaios, apresentados através de resumos, são previamente submetidos a critérios de seleção de dados. Com o objetivo de articular saber médico a expectativas de mercado, o poder dominante se exerce através de técnicas de poder (estratégias de marketing), atribuindo aos médicos o papel de técnicos de poder, a serviço de seus interesses. Essa relativização de valores clama por uma crítica revisão ética. / This study is an approach to the macro-political engine where the dominant power (represented by the pharmaceutical industry) articulates with the knowledge industry promoting the construction and transmission of a biomedical knowledge with the same logic production and distribution of capitalist commodities. The pharmaceutical companies have been investing in clinical research projects with the intention to scientifically legitimate its products. The investigation of the financial role of these clinical trials was based on the interviews with four physicians who are also medicine professors engaged in these pharmaceutical projects. The results showed that the research protocols are elaborated by the pharmaceutical industry without the participation of the engaged doctors; the whole access to the research data is only available to the main research supervisors and the results are submitted to previous data selection. The dominant power of the pharmaceutical industry is exercised through market power techniques. It establishes a technical power position to the physicians enrolled in the research who are also in service of the industries interests. This relativistic approach concerning health values claims for a critical and ethical revision.

Este estudo abordou o contexto de uma engrenagem macropolítica, na qual o poder dominante (representado pela indústria farmacêutica) se articula à indústria do conhecimento, condicionando construção e divulgação de conhecimento biomédico à mesma lógica da produção e distribuição capitalista de mercadorias. A indústria farmacêutica tem investido em projetos de pesquisas clínicas, com o objetivo de legitimar, cientificamente, seus produtos. A investigação deste papel financiador de ensaios clínicos baseou-se nos depoimentos de quatro médicos, professores de Medicina, coparticipantes de projetos da indústria farmacêutica. Os resultados evidenciaram que os protocolos das pesquisas são elaborados pela própria indústria, sem participação do médico colaborador; o acesso à íntegra dos dados coletados é de exclusividade dos coordenadores centrais da pesquisa; e, os resultados dos ensaios, apresentados através de resumos, são previamente submetidos a critérios de seleção de dados. Com o objetivo de articular saber médico a expectativas de mercado, o poder dominante se exerce através de técnicas de poder (estratégias de marketing), atribuindo aos médicos o papel de técnicos de poder, a serviço de seus interesses. Essa relativização de valores clama por uma crítica revisão ética. / This study is an approach to the macro-political engine where the dominant power (represented by the pharmaceutical industry) articulates with the knowledge industry promoting the construction and transmission of a biomedical knowledge with the same logic production and distribution of capitalist commodities. The pharmaceutical companies have been investing in clinical research projects with the intention to scientifically legitimate its products. The investigation of the financial role of these clinical trials was based on the interviews with four physicians who are also medicine professors engaged in these pharmaceutical projects. The results showed that the research protocols are elaborated by the pharmaceutical industry without the participation of the engaged doctors; the whole access to the research data is only available to the main research supervisors and the results are submitted to previous data selection. The dominant power of the pharmaceutical industry is exercised through market power techniques. It establishes a technical power position to the physicians enrolled in the research who are also in service of the industries interests. This relativistic approach concerning health values claims for a critical and ethical revision.

Die Dissertation befasst sich mit der Forschungsförderung durch die britischen Research Councils AHRC und ESRC und die DFG. Sie analysiert, ob diese Förderorganisationen von ihren jeweiligen Regierungen gesteuert werden und ob dies in ihrer Arbeitspraxis und ihren Förderentscheidungen sichtbar ist. Darüber hinaus betrachtet die Dissertation die Perspektive der wissenschaftlichen Community sowohl als Empfänger von Fördermitteln als auch als Mitglieder der verschiedenen Gremien der Förder-organisationen. In der Arbeit wird ein vergleichender Ansatz angewandt, der die spezifischen Merkmale des AHRC, des ESRC und der DFG als intermediäre Organisationen untersucht. Das Konzept der Intermediäre basiert auf den Forschungsergebnissen von Braun (1993), Braun und Guston (2003) und van der Meulen (2003). Die Autorin führte Experteninterviews mit wissenschaftlichen Mitgliedern des AHRC, ESRC und der DFG und führte eine Delphi-Befragung unter Wissenschaftlern aus kunst-, geistes- und sozialwissenschaftlichen Fachbereichen an Hochschulen in GB und Deutschland durch. Aus der Analyse der Daten lässt sich schließen, dass die Teilnahme an oder die Durchführung von Programmen und Initiativen, die Ausdruck einer Regierungspriorität sind, dem Image der Fördereinrichtung in der wissenschaftlichen Community schaden kann. Im Rahmen der Prinzipal-Agent-Theorie wurde den wissenschaftlichen Mitgliedern der Förderorganisation eine starke und einflussreiche Rolle zugeschrieben. Diese Hypothese wurde durch die Datenanalyse bestätigt. Die Dissertation bestätigt auch, dass Wissenschaftler ihre Forschung an Förderformate und Erfolgsaussichten anpassen und ausrichten. In ihrer Rolle als Intermediäre unterliegen Förderorganisationen Verpflichtungen gegenüber ihrem Prinzipal und gegenüber ihren Agenten. Die formellen (satzungsgemäßen) Verpflichtungen müssen mit den informellen Verpflichtungen (Vertrauen und Loyalität) in Einklang gebracht werden. Dies ist der Schlüssel zu ihrer Vermittlungsfunktion. / The PhD thesis focusses on research funding by the British Research Councils AHRC and ESRC and the German DFG. It discusses whether these funding agencies are steered by their respective governments and whether this is visible in their working practice and their funding decisions. In addition, the PhD thesis addresses the perspective of the scientific community both as recipients of funding and as members of the different bodies of the funding agency. The thesis uses a comparative approach, examining the specific characteristics of the AHRC, ESRC and the DFG as intermediary organisations in order to uncover their differences and similarities. The concept of intermediaries is based on research by Braun (1993), Braun and Guston (2003), and van der Meulen (2003). The author conducted expert interviews with academic members of the AHRC, ESRC and the DFG and carried out a Delphi survey among scholars from arts, humanities and social science departments at HEIs in the UK and Germany. Concluding from the data, the participation in or implementation of programmes and initiatives which are expressions of a government priority, can easily lead to the impression that the funding agency is being steered by government. For the DFG as well as the AHRC and the ESRC, one challenge was similar: that of finding a balance between short- term political considerations and long-term scientific priorities. Within the framework of principal-agent theory, a strong and influential role was ascribed to the academic members of the funding agency. This hypothesis was confirmed in the data analysis. The thesis also confirmed that scholars adapt and align their research to funding formats and the prospects of success. In their role as intermediaries, funding agencies are subject to commitments towards their principal and towards their agents. Formal (by Statutes) commitments need to be brought in line with informal commitments (trust and loyalty). This is key to their mediating function.

<p>In 2001 Sweden founded the government agency of VINNOVA, named after the OECD-endorsed innovation system concept. Criticising the common assumption that countries are passive and uncritical recipients of the approaches promoted by the OECD, this dissertation tries to show that Swedish actors were in fact very active and strategic as they contributed to the national adoption of the concept.</p><p>With inspiration from conceptual history and Quentin Skinner’s analysis of the rhetorical use of concepts, this study focuses on the research funding reform process between 1995 and 2001, investigating how actors trying to defend the contested institution of sectoral research used the innovation system concept to rhetorically legitimise their project. To compare these uses with earlier ways of discussing innovation in Sweden, the innovation debate that arose in relation to the industrial crises of the 1970s and 1990s has also been studied.</p><p>It was found that the early Swedish innovation debate had paid little attention to the university sector. When <i>Research 2000</i> in 1998 proposed that researcher-dominated research councils should be given control over sectoral research funding, a coalition in favour of industrially relevant research mobilised to protect its influence over research funding. The concept was now appropriated and used to rhetorically reframe the universities as part of a system with the main function of promoting innovations. By using the concept it was also possible to draw on the legitimacy offered by the OECD and science.</p>

In 2001 Sweden founded the government agency of VINNOVA, named after the OECD-endorsed innovation system concept. Criticising the common assumption that countries are passive and uncritical recipients of the approaches promoted by the OECD, this dissertation tries to show that Swedish actors were in fact very active and strategic as they contributed to the national adoption of the concept. With inspiration from conceptual history and Quentin Skinner’s analysis of the rhetorical use of concepts, this study focuses on the research funding reform process between 1995 and 2001, investigating how actors trying to defend the contested institution of sectoral research used the innovation system concept to rhetorically legitimise their project. To compare these uses with earlier ways of discussing innovation in Sweden, the innovation debate that arose in relation to the industrial crises of the 1970s and 1990s has also been studied. It was found that the early Swedish innovation debate had paid little attention to the university sector. When Research 2000 in 1998 proposed that researcher-dominated research councils should be given control over sectoral research funding, a coalition in favour of industrially relevant research mobilised to protect its influence over research funding. The concept was now appropriated and used to rhetorically reframe the universities as part of a system with the main function of promoting innovations. By using the concept it was also possible to draw on the legitimacy offered by the OECD and science.